Social Media

fraud.jpgThe outside business activities of registered persons have the potential for causing your firm significant liability, especially where those activities are unknown to the firm, involve firm customers and constitute
Continue Reading What Does FINRA Rule 3270 Mean To You

confusion.jpgAt a regulator’s round table during a recent National Society of Compliance Professionals meeting, the regulators framed out those issues that are keeping them up at night.  The issues include:

Continue Reading Do You Want To Know What Keeps The Regulator Up At Night?

On January 1, 2013, California joined Maryland and Illinois in restricting securities employers’ access to their employees’ and job applicants’ social media accounts.  This new law was announced on Twitter, and

Continue Reading Securities Employees’ Social Media Access Cannot be Touched by their California Employers